Goodman and Nekvasil May Recover Investors Losses | Ronald Seth Cohen (Ronald Cohen), Financial Advisor Fined and Suspended by FINRA  Reported by FINRA on June 17, 2015, Ronald Cohen, was fined $10,000 and suspended from association with any Financial Industry Regulatory Authority (FINRA) member firm for four months. FINRA alleged that Cohen engaged in three outside business activities without providing prior …

Goodman and Nekvasil May Recover Investors Losses | Mark Jude Ketner (Mark Ketner), Financial Advisor Suspended by FINRA  According to FINRA on March 27, 2018, Mark Ketner was suspended after allegations that Ketner engaged in an unsuitable pattern of short-term trading of unit investment trusts (UITs) in connection with the accounts of customers. FINRA reports that Mark Ketner repeatedly recommended that …

Alejandro Ariel Torres (Alejandro Torres), Financial Advisor Barred from Securities Industry | Goodman and Nekvasil May Recover Investors Losses FINRA reports that Alejandro Torres was barred due to the entry of findings that he converted at least $59,600 from his member firm’s customer – 64-year-old widow. Allegedly Alejandro Torres approached the widowed client with a purported partnership opportunity in his …

Goodman and Nekvasil May Recover Investors Losses | David Alan Lavine (David Lavine), Financial Advisor Barred by FINRA  Reported by FINRA on January 20, 2015, David Lavine is barred resulting from the following allegations: David Lavine consented to the sanctions and to the entry of findings that David Lavine failed to provide FINRA requested documents and information during the course of …

Sean Spearman – Financial Advisor Sean Spearman Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Sean Spearman CRD #2945116 Reported by FINRA on May 9, 2014, Sean Anthony Spearman is barred resulting from the following allegations as reported by FINRA: Sean Spearman was named a respondent in a FINRA complaint alleging that he was required …

John William Hoekman (John Hoekman), Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investor Losses FINRA reports that John Hoekman, was barred from association with any FINRA member in any capacity permanently on July 13, 2016.  John Hoekman entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement …

Goodman and Nekvasil May Recover Investors Losses | Gregory Taylor, Financial Advisor Gregory Taylor Suspended by FINRA  Gregory Taylor CRD #1531557 FINRA reports that Gregory Taylor was suspended from association with any FINRA member in any capacity for thirty days and fined $5,000.   FINRA reports Gregory Taylor was named in a FINRA complaint alleging that Gregory Taylor engaged in unethical …

Goodman and Nekvasil May Recover Investors Losses | Stephen Giannantonio, Financial Advisor Suspended by FINRA  Stephen Giannantonio has been licensed with Aegis Capital Corp. since 2013. Reported by FINRA on October 4, 2016, Stephen Giannantonio, was suspended from association with any FINRA member in any capacity for ten business days and fined $5,000.   FINRA reports Stephen Giannantonio, consented to the …

Goodman and Nekvasil May Recover Investors Losses | David Richard Shapiro (David Shapiro), Financial Advisor Suspended by FINRA  David Shapiro was licensed withStifel, Nicolaus & Company, Incorporated from 2007 to 2017. FINRA reports that David Shapiro was suspended from association with any FINRA member in any capacity for fifteen business days and fined $5,000. David Shapiro entered into a Letter of …

Goodman and Nekvasil May Recover Investors Losses | Charlotte Ann Guin, Financial Advisor Barred from Securities Industry  Charlotte Guin was licensed with J.P. Morgan Securities LLC from 2011 to 2015. According to FINRA, Charlotte Ann Guin was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm. FINRA reports that Charlotte Guin consented to the sanction and to the …